In accordance with the FHWA-ADOT Stewardship and Oversight Agreement for Arizona, dated March 2010, referred to as the Stewardship Agreement, the Arizona Department of Transportation (ADOT) may delegate to the local public agencies (LPAs) the authority to self-administer (SA) projects or administer a project under the Federal Highway Administration (FHWA) Certification Acceptance (CA) Program. The Code of Federal Regulations (CFR) 23 CFP 1.11 and 635.105 authorize ADOT through the Engineering Consultants Section (ECS), to delegate certain activities, under its supervision, to the LPAs such as such as cities, counties, towns, tribal entities or other state/federal agencies for project not listed on the National Highway System (NHS).
ECS reviews and approves the LPA’s professional architectural and/or engineering (A/E) procurement processes to ensure that A/E services are procured on the basis of the firm’s demonstrated competence and qualifications for the type of professional A/E services required and at fair and reasonable prices in compliance with the Brooks Act U.S.C. Title 40, Chapter 11, Section 1101-1104 (referred to as the Brooks Act). Furthermore, Title 23 USC, Section 112(b)2(a) requires the Brooks Act procedures to be used for each contract for program management, construction management, feasibility studies, preliminary engineering, design, engineering, surveying, mapping, or architectural-related services with respect to a construction project performed or supervised by ADOT.
A/E contracts not using federal-aid funds do not fall under these requirements even if the state will use federal-aid funds in the construction phase.
There are three acceptable A/E procurement administration options in which the LPA's A/E projects may qualify for federal funding if the LPA is requesting the use of federal funding for the design phase.
- ADOT-Administered (AA) Project, if selected, offers the LPAs a pool of ADOT-approved A/E on-call firms that have been selected according to FHWA-approved A/E procurement process regardless of the project source; Urban Project Management (UPM), Maricopa Association of Governments (MAG), Pima Association of Governments (PAG), etc. This option is the most expedient and compliant means of obtaining A/E firms since ADOT will administer and manage the contracts from advertising, consultant selection, negotiation, contract execution, processing payment reports and contract modifications, audits DBE compliance (e.g., reporting and monitoring) through contract closeout. LPAs may avail of this option after obtaining, in writing, the initial project approval from ADOT LPA section. These on-calls are ready to initiate task for the project. Under this option, ADOT, through ECS, administers and manages the contracts for the LPAs’ projects.
- Self-Administered (SA) Project is where the LPAs are not ADOT Certification Acceptance (CA)-certified as an entity to procure professional A/E services. Instead, LPAs request ADOT's approval for each of the LPA's (design) project to procure/solicit A/E firms using an ADOT-approved process. SA approval is granted once ADOT determines that the LPA's A/E procurement processes (and documentation such as Public Notice, Request for Qualifications (RFQs)/Statements of Qualifications (SOQs), etc.) comply with the Qualifications Based Selection (QBS) procedures. Under this option, LPAs cannot use an on-call consultant process because SA projects are approved on a project-by-project basis. Refer to the ADOT LPA Projects Manual, chapter 3 for more information.
LPAs desiring to apply for self-administration of a federal-aid project must go through an approval process by contacting Susan Anderson, ADOT LPA Process Manager, at SEAnderson@azdot.gov or 602.712.6960 for the Self-Administration Consideration Request Form.
- Certification Acceptance (CA) Program is where an LPA, as an entity, may be approved programmatically if requested, the procurement authority to develop and administer A/E projects in accordance with all applicable agency, state, and federal requirements. ADOT evaluates the LPA's written process to ensure compliance with all federal and state A/E procurement requirements. Once ADOT-approved and certified, the LPA has the A/E procurement authority to procure professional A/E services. ADOT periodically evaluates the LPA's performance throughout the project development. Currently, ADOT has approved the CA Program for six (6) cities (Chandler, Mesa, Phoenix, Scottsdale, Tempe and Tucson) and two (2) counties (Maricopa and Pima). Under this option, the LPAs are certified for four years and requires recertification thereafter. Refer to the ADOT LPA Projects Manual, chapter 4 for more information. ADOT's approval is required for CA entities to establish On-Calls.